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Former AXA Advisors LLC Broker, Jenna Kang, Barred By FINRA For Failing To Cooperate With Investigation Regarding Whether She Improperly Signed Customer Forms

Jenna Kang (CRD # 6334679) was a Financial Advisor at AXA Advisors LLC in Los Angeles, CA. Jenna Kang has been in the securities industry since 2016.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 7, 2020, Jenna Kang was barred by FINRA. According to the FINRA sanction:

“Without admitting or denying the findings, Kang consented to the sanction and to the entry of findings that she refused to produce the information and documents requested by FINRA in connection with its investigation into whether Kang had signed customer signatures on her member firm’s documents.”

For a copy of the FINRA sanction, click here

In addition to the above, since April 2020 Jenna Kang has been the subject of ten (10) customer complaint disclosure alleging the same or similar sales practice misconduct. The complaint alleged the following:
• June 2020—”Client alleges that the signature on an account application submitted on their behalf does not belong to them.”:
• June 2000—”Client alleges that the signature on an account application submitted on their behalf does not belong to them.”
• June 2020—”The client requested that an unauthorized account be closed after learning that their former RR submitted an account application without the client’s authorization.”
• June 2020—”Client alleges that a retirement account application submitted on their behalf contains a signature that does not belong to them.”
• May 2020—”Client alleges that the signature on a retirement account application does not belong to them.”
• May 2020—”Client alleges RR opened a retirement account on the client’s behalf without full disclosure.”
• May 2020—”Client alleges RR opened a retirement account on the client’s behalf without full disclosure.”
• May 2020—”Client alleges that they do not recognize the signature on a retirement account application that was submitted on their behalf.”
• April 2020—”Client alleges RR opened a retirement account without her permission or knowledge in 2020.”

On April 14, 2020, Jenna King was discharged from her employer following allegations that
“during a review of a customer complaint, RR admitted to signing client names to product account applications.”

For a copy of Jenna Kang’s CRD, click here

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com.

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